UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

___________________________________

 

FORM 8-K

 

Current Report Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):

 

June 20, 2014 (June 18, 2014)

 

GSV CAPITAL CORP.

(Exact name of registrant as specified in its charter)

 

Maryland		1-35156		27-4443543
(State or other jurisdiction		(Commission File Number)		(I.R.S. Employer Identification No.)
of incorporation)

 

2925 Woodside Road

Woodside, CA 94062

(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (650) 235-4769

 

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

          

On June 18, 2014, the Board of Directors (the “Board”) of GSV Capital Corp. (the “Company”) accepted the resignation of Stephen D. Bard, the Company’s Chief Compliance Officer, Chief Financial Officer, Treasurer and Secretary. Mr. Bard’s resignation is effective immediately. In addition, the Board appointed William Tanona to serve as the Company’s Chief Financial Officer, Treasurer and Secretary and Carl M. Rizzo to serve as the Company’s Chief Compliance Officer, in each case effective as of June 18, 2014, in place of Stephen D. Bard.

 

A press release regarding the departure of Mr. Bard and the appointment of Messrs. Tanona and Rizzo is attached hereto as Exhibit 99.1and incorporated by reference herein.

 

Item 9.01 Financial Statements and Exhibits.

 

(a)

Not applicable.

 

(b)

Not applicable.

 

(c)

Not applicable.

 

(d)

Exhibits.

  

	Exhibit No.		Description
	99.1		Press release dated June 20, 2014

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Date: June 20, 2014	GSV CAPITAL CORP.
	By:	/s/ Mark W. Flynn
		Mark W. Flynn
		President

  

 

 

 

GSV Capital Corp. Announces Management Transitions

 

WOODSIDE, Calif., June 20, 2014 (GLOBE NEWSWIRE) -- GSV Capital Corp., ("GSV"), (Nasdaq:GSVC), today announced that William Tanona was appointed GSV’s Chief Financial Officer, Treasurer and Secretary and Carl Rizzo was named Chief Compliance Officer, both appointments are effective June 18, 2014. Stephen Bard has resigned as the company’s Chief Financial Officer, Treasurer, Secretary and Chief Compliance Officer and will assist in an advisory capacity to ensure a smooth transition to his successors.

 

“I want to thank Steve for his leadership during our formative years at GSV Capital and wish him best in his new endeavors” said Michael Moe, GSV’s Chief Executive Officer of GSV Asset Management. “Bill Tanona is a highly regarded financial executive with nearly two decades of Wall Street experience primarily in the financial services sector. Carl Rizzo is an experienced asset management compliance attorney and consultant. We are confident that Bill and Carl will be tremendous assets for GSV Capital as we move forward.”

 

William Tanona was most recently a managing director at Fortress Investment Group. Prior to joining Fortress in 2011, Mr. Tanona was at UBS AG from 2010 – 2011 and has spent over a decade at various global investment banks including Goldman Sachs and JPMorgan as an equity research analyst covering financial institutions. Mr. Tanona graduated from Villanova University’s School of Business with an Accounting major. Mr. Tanona has been awarded the Chartered Financial Analyst (CFA) designation.

 

Carl Rizzo has served as a Director at Alaric Compliance Services LLC since April 2011 and will perform his functions as the Company’s Chief Compliance Officer under the terms of an agreement between the Company and Alaric Compliance Services LLC. Before joining Alaric, Rizzo served as a Vice President at Steelbridge Compliance LLC. From 2009 to late 2010, he was self-employed as an independent investment management regulatory compliance consultant. From 2006 – 2009, Rizzo served as Senior Principal Consultant with ACA Compliance Group, a regulatory compliance consulting firm. Prior to that, he was the Assistant General Counsel at Bank of America Corp. Rizzo began his compliance career serving as Senior and Special Counsel on the staff of the SEC's Division of Investment Management. He holds a Masters of Law degree in federal securities regulation from Georgetown University.

 

About GSV Capital Corp.

 

GSV Capital Corp. (GSVC) is a publicly traded investment fund that seeks to invest in high-growth, venture-backed private companies. Led by industry veteran Michael Moe, the fund seeks to create a portfolio of high-growth emerging private companies via a repeatable and disciplined investment approach, as well as to provide investors with access to such companies through its publicly traded common stock. GSV Capital is headquartered in Woodside, CA. www.gsvcap.com

 

Follow GSV Capital on Twitter: @gsvcap

 

The GSV Capital Corp. logo is available at http://www.globenewswire.com/newsroom/prs/?pkgid=12750